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FINRA Exam Study Guide with Complete Solutions SEC Rule 17a-5(d)(1)(i) - ️️ Correct-requires every broker or dealer registered to file a certified annual audit no later than 60 calendar days from their designated fiscal year end A completed SEC form X-17A-5, Part III, - ️️ Correct-Docu...

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  • September 25, 2024
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  • 2024/2025
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

FINRA Exam Study Guide with Complete
Solutions

SEC Rule 17a-5(d)(1)(i) - ✔️✔️Correct-requires every broker or dealer registered to file a

certified annual audit no later than 60 calendar days from their designated fiscal year

end


A completed SEC form X-17A-5, Part III, - ✔️✔️Correct-Document used to identify annual

audit reports & must accompany the annual audit.



The form contains space for a firm's name and address, the name and address of an

accountant, the oath or affirmation, and a checklist of items included in the report.



Filing this report that they can receive confidential treatment for all parts other than the

statement of financial condition. Member firms desiring such confidential treatment

should review the provisions of subparagraph (e)(3) of SEC Rule 17a-5. Any portion

that you wish to be treated as confidential should be bound separately from the

statement of financial condition.



2 copies of the audited report must be filed with the Principal Office of the SEC in

Washington, DC, one copy to the appropriate Regional/District Office of the SEC, and

one copy to FINRA submitted through the Firm Gateway annual audit electronic

1/11

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
submission interface. The audit must be submitted to FINRA in Portable Document

Format (PDF).



Extension request need to be done in writing

Rule 4530 - ✔️✔️Correct-requires firms to report to FINRA certain specified events and

quarterly statistical and summary information regarding written customer complaints.



FINRA Rule 4530 was modeled after NASD Rule 3070 and NYSE Rule 351. Any matter

that becomes subject to reporting or filing prior to July 1, 2011, must be reported or filed

in accordance with the requirements of NASD Rule 3070 and NYSE Rule 351, as

applicable, including the reporting and filing deadlines of those rules. Any matter that

becomes subject to reporting or filing on or after July 1, 2011, must be reported or filed

in accordance with the requirements of FINRA Rule 4530



Report no later than 30 calendar days after the firm knows or should have known of

their existence.



Must report within 30 calendar days after the firm has concluded, or reasonably should

have concluded, on its own that the firm or an associated person of the firm has violated

any securities-, insurance-, commodities-, financial- or investment-related laws, rules,




2/11

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